- Ultimate (Newport Beach, CA)
- Job Description KEY RESPONSIBILITIES *Support the development and implementation of the broker - dealer compliance program, working closely with members of the ... drive enhancement and ensure consistency globally. *Build and implement compliance vendor technology workflows to facilitate pre-approval requirements, ensuring… more
- Pyramid Consulting, Inc. (Houston, TX)
- …, and business goals. Collaborate with cross-functional teams including advisory, broker - dealer , compliance , legal, operations, marketing and technology ... to the purpose of serving clients Experience with Salesforce, managed investing and broker dealer platforms Understanding of user centric design in business,… more
- USAA (Phoenix, AZ)
- …annuity and/or life insurance distribution through full-service brokerage and bank broker dealer firms. Excellent relationship management skills and demonstrated ... level of business acumen in the areas of annuity business operations, broker dealer sales processes and paperwork, sales suitability, industry practices… more
- Cetera Financial Group, Inc. (Cleveland, OH)
- …independent and institutions-based advisors the benefits of a large, established broker - dealer and registered investment adviser, while serving advisors and ... Cetera include award-winning wealth management and advisory platforms, comprehensive broker - dealer and registered investment adviser services, practice… more
- BNP Paribas (Jersey City, NJ)
- …Project Management. KYC is seeking a VP-level advisor to provide compliance coverage primarily for Financial Institutions clients within Corporate & Institutional ... leaders. Demonstrates the ability to influence stakeholders at the team level. Compliance Culture and Conduct: Takes full responsibility for personal actions and… more
- Larson Maddox (New York, NY)
- …of compliance experience. Background in investment adviser or broker - dealer environments. Strong organizational, analytical, and communication skills. ... Compliance Officer - Expert Networks Oversight A leading...leading global investment management firm is seeking an experienced Compliance Officer to join its team in New York.… more
- Cetera Financial Group, Inc. (Dallas, TX)
- …independent and institutions-based advisors the benefits of a large, established broker - dealer and registered investment adviser, while serving advisors and ... Cetera include award-winning wealth management and advisory platforms, comprehensive broker - dealer and registered investment adviser services, practice… more
- JPMorgan Chase & Co. (Jersey City, NJ)
- …laws and regulatory requirements related to private banking, investment advisor, broker - dealer and fiduciary activities. Experience with internal audit ... manner Knowledge of applicable laws and regulatory requirements related to broker / dealer and fiduciary activities Strong interpersonal and influencing skills,… more
- Fulton Bank (Bethlehem, PA)
- …63 (or Series 66). (Required) Must be able to be affiliated with our Broker Dealer . (Required) Knowledge, Skills, and Abilities Knowledge of investment industry ... client transactions, such as trades, deposits, and withdrawals, while ensuring compliance with regulatory requirements. Solicits and receives orders for the… more
- Altruist (Dallas, TX)
- …Experience 2+ years of customer support or call-center experience 2+ years broker - dealer operations or clearing firm experience Working knowledge of investing ... optimization decisions Help maintain and update response templates and platform FAQs Adhere to compliance and regulatory guidelines at all times What you bring… more
- SimpleCiti Companies (Garden City, NY)
- …filings for Delaware entities, Series LLCs, and co-investment vehicles *Support future broker - dealer and fund expansion efforts Real Estate & Lending ... in-house legal hire, helping to build the foundation for fund formation, SEC compliance , and real estate deal support as the platform scales. You'll work closely… more
- moomoo (Dallas, TX)
- …enhance your trading strategies. Note that this entity is not a licensed broker - dealer . For deeper insights into our entities and affiliates, explore ... stands at the forefront of financial services, housing two SEC registered broker -dealers alongside a cryptocurrency brokerage - all operating under the reputable… more
- Hilltop Holdings (Dallas, TX)
- …returns, and meet investing objectives. As one of the nation's largest licensed broker - dealer clearing firms, we are focused on building long-term client ... and quarterly campaigns. Maintain the highest ethical with strict adherence to compliance / risk policies and procedures. Ability to handle different types of… more
- Societe Generale (Jersey City, NJ)
- …opinion on the control framework or the correct application of regulations on broker dealer operations. Strong audit skills and good knowledge of liquidity ... by providing expertise on accounting, prudential and tax norms while ensuring compliance . SKILLS AND QUALIFICATIONS: Challenging and analytical skills in order to be… more
- JPMorgan Chase & Co. (Plano, TX)
- …organization with demonstrated insurance experience. Experience in insurance and broker - dealer matters, including knowledge of state insurance laws ... Wealth Management and Product Legal teams and collaborate with Compliance , Risk and Controls functions to ensure comprehensive and...in which the position is based or otherwise in compliance with the in-house counsel registration rules of that… more
- Lincoln Financial (Broomall, PA)
- …to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln ... sales and distribution to new and existing clients - the legal and compliance aspects of designing and administering life insurance and annuity products Identify and… more
- Lincoln Financial (Seattle, WA)
- …to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln ... cross sell and penetrate assigned firms/institutions. Adhere to LFDs Culture of Compliance . Comply with LFDs policies and procedures What we're looking for… more
- LPL Financial Holdings, Inc. (San Diego, CA)
- …everyone deserves objective financial guidance. As the nation's leading independent broker - dealer , we offer an integrated platform of cutting-edge technology, ... technologies, and best practices in IAM. Define and enforce system-wide compliance of non-functional requirements related to IAM performance, accessibility, and… more
- Desert Financial Credit Union (Phoenix, AZ)
- …as well as adhering to the written policies and procedures of the broker / dealer and the Financial Institution. Perform other job-related duties as assigned. ... & Financial Services program to build sales opportunities. Operations and Compliance : The Financial Advisor is responsible for various operational tasks for… more
- EquityZen (New York, NY)
- …IF YOU HAVE Experience with NetSuite accounting software CPA license Previous broker - dealer experience Public accounting experience Experience at a growth stage ... budgeting, and forecasting Work closely with our business teams and our Compliance and Operations Control functions to improve internal processes impacting financial… more
